CFTC Enforcement Takes Aim at Position Limit Violations
Key Takeaways: In the last 3 months, the Commodity Futures Exchange Commission (CFTC) has issued 3 orders against firms violating positions limits, totaling $2.3 million in fines. CFTC position limit rules apply not only to swap dealers, but to any firm transacting in commodities. Firms should review their control framework and confirm that they are […]

